DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

B•••• R••••• S••••••••

L•• F•••••••• L••BD affiliatedSan Rafael, Ca dual registrantIAPD 5880585

Feed of 09/14/2026

At current firm

0 y

since Jan 26, 2026

In the industry

15 y

since Jun 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jan 26, 2026 · Mill Valley, Ca
L•• E••••••••• L•• BD affiliated
Aug 27, 2025 to Feb 3, 2026 · San Jose, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 8, 2022 to May 28, 2024 · Burlingame, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Nov 4, 2013 to Apr 20, 2021 · Fort Worth, Tx
T• A••••••••• I••• former
Nov 4, 2013 to Apr 20, 2021 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to L•• F•••••••• L••
left Feb 3, 2026, registered Jan 26, 2026 (-8 days) · channel change inside one enterprise, not a move
F••••••• P••••••• A•• W•••••••• A••••••• to L•• E••••••••• L••
left May 28, 2024, registered Aug 27, 2025 (456 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 20, 2021, registered Mar 8, 2022 (322 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 20, 2021, registered Nov 4, 2013 (-2724 days) · channel change inside one enterprise, not a move · moved with a team

Signals

B•••• R••••• S•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for L•• E••••••••• L•• (registered 2025-08-27)
May 28, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address